Securities Lawyers Blog

There are Recent Customer Complaints with Broker Jason Comes in Firm Cetera Advisor Networks LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Comes (Comes), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Comes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,389.00 on February 11, 2026.

The client alleged he was not made of aware of additional capital contributions would be required to pay for fees and expenses of an alternative investment he purchased in June 2023.

There are Recent Customer Complaints with Broker James Poindexter in Firm Mcdermott Investment Services, LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Poindexter (Poindexter), currently associated with Mcdermott Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Poindexter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $624,000.00 on February 19, 2026.

Claimants, experienced real estate investors, purchased 9 Delaware Statutory Trusts in 2021-2023, as part of several tax advantaged 1031 exchanges of their prior real estate investments. 3 of those DSTs are not performing to Claimants’ expectations. Accordingly, Claimant has made various allegations and legal claims related to suitability and due diligence with respect to those 3 DSTs. Allegations also include breach of fiduciary duty, negligence, misrepresentations, omissions, failure to supervise and breach of contract.

There are Recent Customer Complaints with Broker Bruce Beetz in Firm Emerson Equity LLC

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Beetz (Beetz), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beetz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $251,875.00 on February 19, 2026.

Breach of Contract, violation of securities laws and Regulation Best Interest

Broker Larry Tolbert in Integrity Alliance, LLC. Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Tolbert (Tolbert), currently associated with Integrity Alliance, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Tolbert recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $113,000.00 on February 18, 2026.

Customer alleges the Representative recommended the purchase of unsuitable, risky, illiquid, and complex unsecured debt securities through Representative's Registered Investment Adviser (RIA).

There are Recent Customer Complaints with Broker Burton Bartlett in Firm Landolt Securities, INC.

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Burton Bartlett (Bartlett), previously associated with Landolt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bartlett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $480,000.00 on February 10, 2026.

Claimant alleges unsuitability, material misrepresentations, concealment, negligence, and breach of fiduciary duty in connection with an investment made in GWG L Bonds at his PRIOR firm.

Broker Timothy Sherer in Emerson Equity LLC Firm Has Customer Complaint

June 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,009,237.88 on February 19, 2026.

Breach of contract; violation of securities laws and Regulation Best Interest (2019)

There are Recent Customer Complaints with Broker Joannah Keller in Firm Transamerica Financial Advisors, LLC

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joannah Keller (Keller), currently associated with Transamerica Financial Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Keller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $8,124.00 on February 20, 2026.

Client alleges that rep misrepresented an unsuitable VUL as a requirement to obtain long term care coverage, but the long term care coverage never materialized.

Broker Zhi Ying Guan in Emerson Equity LLC Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Zhi Ying Guan (Guan), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on February 19, 2026.

Breach of contract, violation of securities laws and Regulation Best Interest

Broker Bertram Johnson in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bertram Johnson (Johnson), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,548.04 on February 23, 2026.

Client alleged theft of funds from a Bank of America checking account on January 12, 2026

There are Recent Customer Complaints with Broker Orian Fridner in Firm Independent Financial Group, LLC

June 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Orian Fridner (Fridner), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fridner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $120,000.00 on February 20, 2026.

Alleges investment was unsuitable